Newsroom
February 16, 2005
NASAA Commends Launch of Congressional Financial and Economic Literacy Caucus
WASHINGTON, February 16, 2005 –The following is a statement from North American Securities Administrators Association President and New Jersey Bureau of Securities Chief Franklin L. Widmann on the formation of the Financial and Economic Literacy Caucus. Organized in 1919, NASAA is the oldest international organization devoted to investor protection. NASAA’s membership consists of securities administrators […]
January 11, 2005
NASAA Launches Redesigned Website
WASHINGTON (January 11, 2005) –The North American Securities Administrators Association (NASAA) today launched its newly redesigned website to better inform the public, policymakers, regulators, and industry about the role NASAA members serve in protecting investors throughout North America. “Through the new NASAA website, we are pleased to provide users with easier access to new resources and […]
November 4, 2004
Luncheon Address, NASAA Investor Education Training
November 4, 2004, NASAA President Frank Widmann, NASAA Investor Education Training, Orlando, Florida
October 2, 2004
2004 Presidential Speech, New Jersey Bureau of Securities Chief Franklin Widmann
October 2, 2004, NASAA Annual Conference, Scottsdale, Arizona
October 2, 2004
New NASAA President Frank Widmann Urges Industry, Regulators to Help Investors Regain Confidence
SCOTTSDALE, ARIZONA (October 2, 2004) – Franklin L. Widmann, Chief of New Jersey’s Securities Bureau, today was named to a one-year term as President of the North American Securities Administrators Association (NASAA), succeeding Ralph A. Lambiase, Director of the Connecticut Division of Securities. NASAA is the oldest international organization devoted to investor protection. Its membership […]
October 1, 2004
NASAA Sweep Identifies Most Common Problems With Investment Advisers
State Securities Regulators Propose Best Practices to Help Advisers Develop Compliance Practices and Procedures SCOTTSDALE, ARIZONA (October 1, 2004)– The North American Securities Administrators Association (NASAA) at its annual conference here today announced a series of recommended best practices that investment advisers should consider in order to improve their compliance practices and procedures. NASAA is the […]
September 7, 2004
Panelists Set for NASAA Listens Forum on Rule 12b-1 Plans
Mutual Fund Industry Experts, Regulators to Gather Sept. 13 in New York WASHINGTON (September 7, 2004) —The North American Securities Administrators Association, Inc., (NASAA) is bringing together leading mutual fund industry experts and regulators for a public forum on Rule 12b-1 plans, September 13 in New York City. The “NASAA Listens” Forum will be held […]
August 30, 2004
State Securities Regulators to Host 12b-1 Forum
WASHINGTON (August 30, 2004) —The North American Securities Administrators Association, Inc., (NASAA) today announced plans to host a public forum to explore the history and purpose of Rule 12b-1 plans and to examine how these plans affect investors as well as mutual fund management companies. The “NASAA Listens” Forum is scheduled for September 13 from […]
August 26, 2004
Deutsche Bank Securities Inc. and Thomas Weisel Partners LLC Settle Enforcement Actions Involving Conflicts of Interest Between Research and Investment Banking
Deutsche Bank Securities to Pay $87.5 Million, Including Penalty of $7.5 Million for Failing to Timely Produce All E-mail; Thomas Weisel Partners to Pay $12.5 Million WASHINGTON, NEW YORK, SACRAMENTO (August 26, 2004) – The Securities and Exchange Commission, the North American Securities Administrators Association (“NASAA”), NASD, Inc., New York Stock Exchange (“NYSE”), and state […]
August 17, 2004
